E-Communications Risk Assessment Checklist
Do you need help conducting an e-communications risk assessment for your regulated firm?
We’ve created a risk assessment checklist in collaboration with our Compliance Consultant partners at Bovill Newgate that gives you all the essential questions you need to cover while conducting your e-communications risk assessment, to ensure best practice for your firm.
If you haven’t conducted an e-communications risk assessment for over a year, or if you’re aware of any new communication channels that your employees use at work (such as WhatsApp) that haven’t been covered in your previous risk assessment, then now is the time to conduct a new risk assessment and reassess the systems and controls that apply within your electronic communications.
You can find more tips from Bovill Newgate around your risk assessment in our article Advice From A Consultant: E-Communications Risk Assessment Tips. As always, get in touch if you need any help ensuring that your electronic communications are properly monitored to ensure compliance with key regulatory requirements.
Need any help?
If your regulated firm needs help ensuring that your electronic communications are monitored to ensure compliance with your regulator (FCA, ESMA, SEC, FINRA, or more), then get in touch. We’d be happy to help!